Head of Compliance Head of Compliance …

HARBRIDGE PARTNERS
in Singapore
Permanent, Full time
Last application, 17 Jun 21
Negotiable
HARBRIDGE PARTNERS
in Singapore
Permanent, Full time
Last application, 17 Jun 21
Negotiable
Posted by:
Douglas AU • Associate Director
Posted by:
Douglas AU
Associate Director
Background: Our client is a Nasdaq listed FI with renounce reputation in the market. They are currently looking for a Compliance Head for SG, as well as a core member of their management team.

Responsibilities:

  • Acting as the firm’s point of contact with the MAS, exchanges and other regulatory bodies;
  • Advising the business on regulatory matters relating to business development projects;
  • Advising on the distribution of new products & prospectus’ requirements, language to be used in client agreements & risk disclosure statements.
  • Reviewing MAS notices and circulars.
  • Researching, interpreting and advising the firm regarding compliance with laws, regulations and guidance applicable to brokers in the region;
  • Designing procedures for complying with MAS and exchange requirements for all regulated activities.
  • Drafting and implementing firm policies and written supervisory procedures;
  • Management of regulatory inspections and audits (both internal and external), and developing/implementing the relevant remedial action plans to address any findings;
  • Crafting written instructions for programmers and technology staff in light of new regulations or to launch new business lines;
  • Gather information and prepare written responses to enquiries from MAS, exchanges and other regulatory bodies and law enforcement agencies. 

 

Requirements:

  • Must be a self-starter with strong analytical skills and able the ability to work at a fast pace;
  • Strong understanding of the Securities and Futures Act, Securities & Futures Regulations, MAS AML/KYC Guidelines & Notices and the 11 MAS Internal Risk Controls circulars (Technology, Credit, Market, Corporate Governance Risks etc).
  • Superior organizational skills with the ability to prioritize and work independently in a dynamic and fast-pace working environment;
  • The ability to manage a team and take ownership of projects and tasks with minimal supervision.
  • The ability to understand business requirement in order to work with the business to provide regulatory support on business development needs;
  • Proven experience and track record at a financial services regulatory agency, exchange or licensed financial services firm;
  • Familiarity with the regulatory process, rules and codes of Singapore, knowledge of other APAC jurisdiction is a plus;
  • A “can do” attitude with a willingness to learn;
  • Strong technical orientation and be comfortable with computers and technology as applied to trading, surveillance and compliance;
  • Fluency in English (both written and spoken) is essential, Chinese skills will be beneficial.
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